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  1. Point in time
    2020-12-29

WDPG 4.5 Continuing regulatory requirements during wind-down

WDPG 4.5.1G

1Continuing requirements during wind-down: The wind-down plan does not create an exception for complying with threshold conditions or our rules during the wind-down period.

WDPG 4.5.2G

During wind-down firms will need to continue to comply with the Principles, reporting requirements, financial resource requirements and any other relevant requirements.